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Louis John Sperazza

National Financial Services LLC

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About Louis John Sperazza

Louis John Sperazza is a financial advisor registered with National Financial Services LLC. Louis has been in the financial services industry since October 1996 and has held several positions at various firms including KCG Americas LLC, E*TRADE Securities LLC, and Knight Capital Markets LLC. Louis is licensed to conduct securities business in the state of New Jersey.

Firm Information

Louis Sperazza is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Louis Sperazza’s Registration & Firm History

NJ

08/22/2022 - Present

National Financial Services LLC (JERSEY CITY NJ)

NJ

06/06/2017 - 09/23/2019

E*TRADE SECURITIES LLC (Jersey City NJ)

NJ

07/02/2012 - 12/13/2016

KCG AMERICAS LLC (JERSEY CITY NJ)

NJ

01/12/2000 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)

NJ

08/17/2005 - 12/31/2010

KNIGHT CAPITAL MARKETS LLC (JERSEY CITY NJ)

NE

06/26/1997 - 01/05/2000

NATIONAL INVESTOR SERVICES CORP. (BELLEVUE NE)

NE

09/21/1993 - 12/05/1997

WATERHOUSE SECURITIES, INC. (OMAHA NE)

NY

05/13/1993 - 08/31/1993

HANOVER, STERLING & COMPANY LTD. (NEW YORK NY)

NY

08/23/1993 - 08/30/1993

JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/08/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/16/1998

Series 24 - General Securities Principal Examination

BC

Issued 07/16/1996

Series 4 - Registered Options Principal Examination

BC

Issued 07/31/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2012

Series 3 - National Commodity Futures Examination

BC

Issued 05/27/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/12/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Louis John Sperazza.
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